The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1980 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 12
... written notice from any representative of the Com- mission or any self - regulatory organi- zation of which it is a member , an ap- plicant or registrant must , monthly or at such times as specified , furnish the Commission and the self ...
... written notice from any representative of the Com- mission or any self - regulatory organi- zation of which it is a member , an ap- plicant or registrant must , monthly or at such times as specified , furnish the Commission and the self ...
Página 13
... written application to the principal office of the Commission in Washington , D.C. , and written notice of such change is given to the designated self - regulatory organiza- tion , if any . ( 2 ) Any applicant or registrant may elect to ...
... written application to the principal office of the Commission in Washington , D.C. , and written notice of such change is given to the designated self - regulatory organiza- tion , if any . ( 2 ) Any applicant or registrant may elect to ...
Página 17
... written notice to any applicant for registration in any capacity under the Commodity Ex- change Act that : ( 1 ) The Division of Trading and Markets and the Division of Enforce- ment allege and are prepared to prove that one or more of ...
... written notice to any applicant for registration in any capacity under the Commodity Ex- change Act that : ( 1 ) The Division of Trading and Markets and the Division of Enforce- ment allege and are prepared to prove that one or more of ...
Página 20
... written report stating what steps have been and are being taken to cor- rect the situation . ( d ) Whenever any applicant or regis- trant discovers or is notified by an in- dependent public accountant , pursu- ant to § 1.16 ( e ) ( 2 ) ...
... written report stating what steps have been and are being taken to cor- rect the situation . ( d ) Whenever any applicant or regis- trant discovers or is notified by an in- dependent public accountant , pursu- ant to § 1.16 ( e ) ( 2 ) ...
Página 26
... written notice of such occurrence with the Commission at its principal office in Washington , D.C. , and with the designated self - regulatory organi- zation , if any , not more than 15 busi- ness days after such occurrence . ( 2 ) Such ...
... written notice of such occurrence with the Commission at its principal office in Washington , D.C. , and with the designated self - regulatory organi- zation , if any , not more than 15 busi- ness days after such occurrence . ( 2 ) Such ...
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Términos y frases comunes
48 Stat action Administrative Law Judge affiliates aggregate amended amount applicant or registrant appropriate assets authority balance sheet broker caption certificate chapter clude Column Commis Commission's commodity Commodity Exchange Act commodity pool commodity trading advisor Company Act contract market copies costs curities dealer deemed demand note Director disclosure documents employee equity exemption Federal fees financial statements fiscal futures commission merchant income statement initial decision interest Investment Company issue issuer matter ment mission notice notification offering sheet oil and gas option otherwise paragraph party percent period person prior procedures proceeding prospectus purchase pursuant to section quired record regis registration statement regulations request revised schedule Securities Act Securities Exchange Act service of process sion specified suant subordination agreement Subpart subpoena subsidiaries term thereof tion trading transactions underwriter unless
Pasajes populares
Página 133 - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
Página 165 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 103 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
Página 343 - ... that the witness is at a greater distance than 100 miles from the place of trial or hearing, or is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or...
Página 248 - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 322 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he Is serving as officer, director, trustee, partner or employee. or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Página 165 - ... to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 193 - ... of interest. Remedial action may include, but is not limited to: (1) Changes in assigned duties; (2) Divestment by the employee or special Government employee of his conflicting interest; (3) Disciplinary action; or (4) Disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, executive orders, and regulations.
Página 269 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Página 268 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...